Compliance Advisory
£120,000
London -hybrid 3/2
Key Responsibilities:
* Act as the Compliance lead for listed derivative exchange inquiries, managing investigations and drafting responses.
* Monitor and implement regulatory changes in collaboration with relevant teams.
* Review business materials (e.g., marketing, presentations) for regulatory compliance.
* Provide ongoing compliance advice on global policies, exchange rules, and regulations.
* Engage with business stakeholders regularly to address compliance concerns and risks.
* Review and advise on business transactions and initiatives, including cross-jurisdictional compliance matters.
* Support compliance assurance activities, including risk assessments and thematic desk reviews.
* Deliver compliance training and provide input on regulatory incidents and audits.
Standard Company Responsibilities:
* Ensure compliance with FCA regulations and internal policies.
* Adhere to operational risk frameworks and escalate risks as needed.
* Act as a role model for integrity and high conduct standards.
Competencies:
* Strong stakeholder management and relationship-building skills.
* Proactive, solution-oriented, and capable of managing multiple priorities in a high-pressure environment.
* Excellent communication skills with a collaborative mindset.
* Resilient, adaptable, and able to anticipate challenges.
Skills and Experience:
* At least 2 years of Compliance advisory experience in a bank, brokerage, or listed derivative exchange.
* Knowledge of regulatory frameworks, especially for listed derivatives, is advantageous.
* Experience liaising with exchanges and regulators is beneficial.
* Degree-educated, with relevant financial services qualifications preferred.
Please contact me with your CV directly.
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